FORM ADV PART 2B SUPPLEMENT: CAPABILITIES

Electronic workflow solution integrates with existing representative data (stored by RegEd and/or FINRA) to streamline compliance.

Data Collection

Streamlined operational procedures automate data collection, data verification and approval processes.

Sophisticated Workflow

Customized approval workflows leverage existing firm hierarchy and intensify supervisory control.

Reporting

Robust reporting capabilities allow the efficient management and monitoring of compliance activities.

Data Population

Reduces the time it takes to create Part 2B by leveraging existing representative data stored by RegEd.

ADV Part 2B Creation

Automates ADV Part 2B supplement creation with fully customizable PDFs.

Streamline Approvals

Accelerates the approval time of submissions through electronic collection, tracking and filing options.

RegEd’s event-driven supplement creation (e.g. address change, DRP update, education update, etc.) ensures that the firm’s clients always have the most current supplement and are fully in compliance with SEC requirements.

FORM ADV PART 2B SUPPLEMENT: RELATED RESOURCES

Content covering the latest news and best practices, from industry and RegEd subject matter experts.

WEBINAR: FINRA, SEC and State Securities Enforcement Trends

This webinar features a panel of compliance and legal experts who discuss the recent FINRA and State Securities enforcement trends.

VIDEO: Achieving a Unified Compliance and Credentialing Technology Vision

This presentation, featured at the 2021 FINRA Annual Conference, focuses on the benefits of a unified compliance technology ecosystem and how it can deliver significant efficiencies, stronger compliance oversight and increased user satisfaction, while instilling a culture of compliance.

FEATURED ARTICLE: Best Practices for Annual Compliance Questionnaires

This articles discusses how firms can leverage their Annual Compliance Questionnaire (“ACQ”) in many ways, beyond just protecting against regulatory risk.

CELENT REPORT: Keeping a Grip on Employee Conduct and Conflicts of Interest

This report provides an overview of the current landscape, as well as the best practices, processes and technology that leading firms employ to optimize compliance and reduce risk.

FORM ADV PART 2B SUPPLEMENT: RELATED SOLUTIONS

Complementary solutions to power your compliance and credentialing program – all on a unified enterprise platform.

ADVERTISING REVIEW

Robust enterprise software with advanced capabilities to automate and streamline advertising compliance review and speed time to market.

BRANCH AUDIT MANAGEMENT

Plan, schedule, conduct, resolve and report on branch audits. The solution significantly reduces manual processes, while enabling firms to effectively identify and remediate areas of potential risk before they result in non-compliance risk.

CONFLICTS OF INTEREST

 A suite of fully integrated, fit-for-purpose modules to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues among the firm’s employee population and third parties.

COMPLIANCE QUESTIONNAIRES

RegEd’s Compliance Questionnaires provides a robust set of integrated, workflow-driven, enterprise tools that enables firms to initiate, distribute and track annual compliance questionnaires required by FINRA, and other critical questionnaires.

CONTACT US

Schedule a personalized consultation with our solution and subject matter experts. We’ll provide an overview of how RegEd’s enterprise platform enables our clients to improve efficiency, effectiveness and transparency across the enterprise.

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